+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to
of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
fund of the nature specified by the notification of the Office, the securities company shall prepare financial statements of the private fund pursuant to its actual conditions, and shall comply with the
and; (3) not act in significant conflicts with the interest of the company. SECTION 89/11 Any of the following acts, which provides a director, an executive or a related person any financial benefits
entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act
other forms as specified in the notification of the SEC. 4 indicated amendment by the Securities and Exchange Act (No. 4) B.E. 2551 3 "securities company" means any company, or financial institution
development of innovations and financial technologies, as well as to promote the competitiveness and growth of the Thai capital market. In this regard, the enactment of this Act complies with the conditions
juristic person established in the form of a limited company, a public limited company, any other type of juristic person as may be prescribed by the SEC or the establishment of trust. A limited company, a
Decree shall be processed by a special purpose juristic person established in the form of a limited company, a public limited company, any other type of juristic person as may be prescribed by the SEC or
investment. SECTION 241 No person shall analyse or forecast the financial condition, the business operation, the price of securities or any other information related to a securities issuing company by using